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Compliance Check-Up



Compliance4 provides a full suite of practical, cost–effective compliance solutions to investment advisers, investment companies, fund boards and hedge fund managers on a one-time or recurring basis. Compliance4 also offers a "Compliance Check-Up" with a “Compliance RX”.

Our Compliance Check-Up involves an onsite visit to conduct a baseline compliance "health" screening of your compliance program to help you maximize the organizational value of your compliance efforts.

The Compliance Check-Up includes interviews with senior management and select employees to assess the Tone at the Top and to tap into the collective operational and compliance intelligence of your firm.

Our Compliance Check-Up results in a "Compliance Diagnosis" which will document our findings and recommendations in the form of a written comprehensive "Compliance RX" report including a telephonic meeting that prescribes our findings and recommendations.

Our Compliance Check-Up Screening includes:

  • Review Your Compliance Manual for Customization to your Business Practices

  • Refresh and Update Your Code of Ethics

  • Review and Update Your Risk Assessment

  • Review the Accuracy of Disclosures

  • Review Your Conflicts of Interest

  • Review Your Trading Practices

  • Review Your Custody Practices

  • Review Your Advertising Disclosures and Marketing Practices

  • Evaluate Your Business Continuity Plan

  • Review the Production of Your Books and Records

COMPLIANCE4’s Compliance Check-Up is a quick and efficient way of diagnosing the well-being of your firm’s compliance program from both a best practice and regulatory perspective.

Our "Compliance RX" report typically notes compliance activities done right while suggesting prescriptive compliance improvements for the overall health of your compliance program. We draw upon our experience, regulatory guidance and industry best practices to help you protect your firm in advance of a regulatory examination.

We welcome the opportunity to speak with you.

info@compliance4.com | 207-747-5934

About Compliance4:


Compliance4 is a boutique regulatory compliance consulting firm based in Portland, Maine. We are a leader in the compliance and regulatory services industry by offering expert compliance services and high quality comprehensive regulatory solutions.We offer superior outsourced compliance resources and expertise, designed to be an integral part of our client’s daily operations, resulting in a stronger, more focused and competitive firm.

We strive to help our clients succeed in a financial marketplace by providing customized, sensible and practical compliance solutions that fit each client’s evolving needs.We are determined to serve our clients with the highest level of professionalism and with a personal, high-touch approach to client relations. We value long-term relationships and design our compliance solutions to grow and evolve as our clients do the same.

We focus on providing superior client service, the highest quality work product, and the most favorable pricing possible with one clear mission in mind: to ensure any compliance expense is seen as a true value-add and not simply an operational cost.

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